SRO Rules and Responses

IFIC strongly supports industry self-regulation. IFIC welcomed the creation of the New Self-Regulatory Organization of Canada (New SRO), which was formed in January 2023 through the amalgamation of the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada. IFIC will provide industry input to ongoing consultations related to the implementation of the New SRO as well as any rule changes it introduces in response to evolving marketplace and investor needs.

Documents

2018

IFIC Comment Letter - MFDA - Proposed MFDA Rules 1.2 and 1.2.6 and Proposed MFDA Policy No. 9 (Continuing Education Requirements) (June 19, 2018)

2017

IFIC Submission – MFDA – Proposed Continuing Education Requirements (April 27, 2017)

IFIC Submission — IIROC — Proposed Guidance on Order Execution Only Services and Activities (February 3, 2017)

IFIC Submission – MFDA – Misleading Business Titles (Rule 1.2.5) (January 25, 2017)

2016

IFSE Submission – MFDA and BCSC – ETF Proficiency (September 28, 2016)

IFSE Submission to MFDA and BCSC on ETF Proficiency - September 28, 2016

IFIC Submission – MFDA and BCSC – ETF Proficiency (September 28, 2016)

IFIC Submission – MFDA – Proposals to Amend Rule 2.3 – Powers of Attorney (June 10, 2016)

IFIC Submission – IIROC – 270 Day Rule and Directed Commissions (April 18, 2016)

2015

IFIC Submission – MFDA – Continuing Education Requirements (September 21, 2015)

IFIC Submission – MFDA – Proficiency Standard for Approved Persons Selling ETFs and Outside Activity (September 16, 2015)

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